I am an attorney and the owner of Securities Whistleblower Inc. After graduating from the University of Pennsylvania with a degree in economics, I worked for over a decade at some of the largest banks in the world. I began as a junior trader on a globally ranked Interest Rate Swap’s desk and later, as a senior trader, ran trading books of over-the-counter and exchange traded swaps, forwards, futures, options and CDS both in NYC and Germany. While trading an interest rate options book for a large international bank in NYC, I began attending Fordham Law School at night, graduating in 2013. Since then I’ve practiced law in-house, at one of Boston’s top ranked plaintiff-side employment law firms and managed a trading oversight compliance team at one of the world’s largest asset management firms. My experience and education allows me to look beyond vanilla securities and commodities violations and to understand violations of securities and commodities laws that may involve complex securities, commodities, cryptocurrency, derivatives, accounting irregularities, trading or investment schemes, and kickback schemes. This same experience allows me to make persuasive and easily understood whistleblower submissions to regulators pursuant to the Dodd-Frank Act’s whistleblower award provisions, guide whistleblowers through interviews with SEC and CFTC staff as well as present persuasive and fact intensive applications for an award where a whistleblower’s tip to a regulator has led to a successful enforcement action and resulted in collected sanctions over $1,000,000.
I provide legal representation to individuals interested in providing information to the SEC, CFTC, FinCen and other regulators pursuant to whistleblower award programs. I also provide legal representation to whistleblowers who may have experienced discrimination and retaliation for making such protected reports whether to regulators or their employers. I am admitted to practice in New York, Massachusetts and federal agencies across the country including the SEC, CFTC, FinCen and the Department of Labor.